Researchers at the University and Chicago and Minnesota last week published an extraordinary study on broker misconduct.
Blog
Why Trump and Sanders Matter to Financial Advisors
The Trump-Sanders campaigns are loud, boisterous and relevant to the quiet and somber world of finance and financial advisors. Relevance perhaps best expressed in the first question Noonan says voters must answer “Yes” before electing Trump president, “Is he at all a good man?”
Debate on Fiduciary Is Over; Battle for ‘Best Interest’ Rages On
Advisors can make a difference in this battle in this new world. They can speak out for fiduciary advice and, as important, against visible faux fiduciary actions and practices.
The Good News for Fiduciary Advice in 2015
Last week’s victory in Congress for the Department of Labor’s Conflict of Interest (COI) Rule is the best news for fiduciary advice since the March 30, 2007 FPA victory over the SEC in the so-called Merrill Lynch Rule.
Do broker-dealers and independent brokers speak in one voice?
That brokers and BD firms appear to hold such divergent views of core fiduciary requirements may be explained in numerous ways.
Fiduciary September 2015: A Historic Time for Fiduciary Advice
Today marks the beginning of Fiduciary September 2015, the month declared four years ago by the Institute for the Fiduciary Standard as a time to commemorate why fiduciary duties in financial advice matter so much to the markets and investors.